Approval Process for Records Management Procedures

Approval Date: 24 January 2013

Revised: 12 March 2015

Authority: Vice-President (Finance and Resources)

Purpose and Scope:

As set out by the Management of University Records Policy (approved by the Board of Governors in December 2012), retention schedules and related records management procedures are approved by the Vice-President Finance and Resources. The policy further mandates that:

The University Archives, in consultation with a designated committee and appropriate units, will develop records retention and disposition schedules that prescribe the periods for which records must be retained, subject to the final approval of the Vice-President (Finance and Resources).

This process document outlines the consultation and development process required before a recommended new or revised procedure is to be submitted to the Vice-President Finance and Resources (hereinafter the “Vice-President”).

Approval Process:

Consultation on records schedules and other policies/procedures will be undertaken through the University Records Committee. This committee does not necessarily need to meet in person in order to provide a recommendation on approval of a procedure. The committee has a core set of standing members, to draw on essential expertise and authority applicable to all records management issues. Ad hoc members will be added as needed, depending on the schedule(s) or other procedures being considered.

The standing members* are:

Dean of the University Library (Chair)

University Archivist

Chief Information Officer

Director, Corporate Administration

Director, ICT Security, Access and Compliance

Access and Privacy Officer

Registrar

* Designate(s) may be appointed to act in the place of the standing members.

Ad hoc membership is drawn from units creating and using the records under consideration, and to provide additional expertise as required, for example financial, legal or technical expertise. In cases where the records of a particular college, department or administrative unit are the primary subject of a proposed schedule or other procedure, the head of that unit should be an ad hoc member of the committee, or at least be consulted during the development process.

The University Archives, with work coordinated by the University Archivist, will have lead responsibility for drafting procedures, and undertaking the required consultation process prior to submission to the Vice-President.

The committee will work on a consensus model, and whenever possible present a unanimous recommendation. In cases where some details of the proposed procedure are not fully agreed, the committee may choose to forward a majority recommendation along with background on the details not agreed, for the Vice-President’s consideration.

Once a procedure is approved by the Vice-President, it will be added to the university records management website, and otherwise communicated to affected units, as appropriate.